1. Year One of the Managing Government Records Directive Lisa Haralampus Federal Records Management Policy Section Head Office of the Chief Records Officer National Archives and Records Administration

2. Learning Objectives Learn about the Managing Government Records Directive Learn about guidance produced by NARA in support of the goals of the Directive Understand the responsibilities placed on Federal agencies as they work towards implementing the goals in the Directive 2

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4. Backbone of Open Government “When records are well-managed, agencies can use them to assess the impact of programs, to reduce redundant efforts, to save money, and to share knowledge within and across their organizations. In these ways, proper records management is the backbone of open Government.” The White House Memorandum re: Managing Government Records, November 28, 2011 The White House Memorandum re: Managing Government Records, November 28, 2011 4

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7. Directive Goals 7 Require electronic recordkeeping to ensure transparency, efficiency, and accountability Demonstrate compliance with Federal records management statutes and regulations

8. Goal #1: Require electronic recordkeeping to ensure transparency, efficiency, and accountability By 2019, agencies manage all permanent electronic records in electronic formats By 2016, agencies manage permanent and temporary email in accessible, electronic format 8

9. Goal #2: Demonstrate compliance with Federal records management statutes and regulations Role of Senior Agency Officials Accountability and training 9

10. SAOs ensure permanent records identified for transfer and reported to NARA Agency Records Officers identify all unscheduled records, regardless of format NARA revises transfer guidance NARA issues cloud reporting requirements NARA shall convene Senior Agency Official (SAO) meetings OPM establishes RM occupational series NARA produces plan for automated management of electronic records NARA establishes a Community of Interest NARA identifies RM analytical tool Short Term Action Items 10 NARA issues email guidance

11. Agencies manage all email records in electronic format SAOs ensure records Schedules submitted to NARA NARA completes overhaul of GRS Federal agencies manage all permanent records electronically NARA issues improved Request for Records Disposition Authority process 2019 2017 2015 2016 11

12. Email Guidance 12 Challenge: Issue new guidance that describes methods for managing, disposing, and transferring email for Federal agencies that face great challenges in managing billions of emails Solution: The “Capstone” Bulletin issued August 29, 2013 NARA issues email guidance

13. Visualizing Capstone Accounts 13

14. Capstone Benefits Reduces reliance on user-dependent policies Optimizes access for information requests Preserves permanent email records Approach to manage legacy email accounts Eases burden on end-user Simplifies disposition Reduces unauthorized destruction Leverages existing technologies 14

15. 15 Ongoing Responsibilities When using the Capstone approach, agencies must continue to... Schedule records Prevent the unauthorized destruction of records Ensure records are retrievable and usable Consider whether email should be filed with related records Capture and maintain metadata

16. More Capstone Information 16 http://www.archives.gov/records-mgmt/email-mgmt.htm

17. Transfer Guidance Challenge: Identify new transfer formats NARA can accept for permanent electronic records Solution: The “Transfer Formats” Bulletin issued January 31, 2014 [6 file formats become 54 file formats] 17 NARA revises transfer guidance

18. Goals for Revised Transfer Formats Provide direction to agencies on acceptable transfer formats to balance preference for open formats with agency business needs Expand the types of formats that NARA accepts Acknowledge formats that are ubiquitous in the market place Minimize need for agencies to transform records prior to transfer 18

19. File Format Categories 19 Digital Photographs Scanned Text Digital Posters Computer Aided Design Digital Audio Digital Moving Images Digital Still Images GeospatialPresentation Textual Data Structured Data Email Web records

20. A Change in Approach 20 Identified formats that are Preferred Acceptable Acceptable for Imminent Transfer (sun-setting soon) PreferredAcceptableImminent Transfer Structured Data ASCII Text CSV, Comma Separated Values (RFC 4180) XML, Extensible Markup Language OpenDocument Format Spreadsheet (ODS) Microsoft Excel Office Open XML Microsoft Excel 97 Binary Document Format (xls )

21. Example of Transfer Formats Tables 21 http://www.archives. gov/records- mgmt/policy/transfer -guidance- tables.html

22. Social Media Guidance 22 Challenge: Develop new guidance for managing social media records Solution: The “Social Media” Bulletin issued October 25, 2013 Results: High-level requirements and best practices for capturing records created when Federal agencies use social media http://www.archives.gov/records-mgmt/bulletins/2014/2014-02.html

23. RM Challenges with Social Media 23 Articulate clear processes, policies, and recordkeeping roles and responsibilities Areas to consider include: – Identifying records – Defining ownership – Terms of service (TOS) – Communicating policies – Monitoring use and value – Monitoring changes to TOS

24. Methods to capture social media records include: – Using web crawling software – Using web capture tools to capture content – Using platform APIs – Using RSS Feeds, aggregators, or manual methods – Using tools built into some social media platforms to export content Social Media Capture 24

25. Mobile Guidance Posted 3 blogs on Records Express in March 2014 Identifies benefits, risks Discusses possible records management implications Considering guidance 25

26. Records Management Job Series 26 OPM establish RM occupational series Challenge: Create a specific Federal job series for people working in Federal records management including records officers, analysts, specialists and others Solution: Dec 31 st, 2013 OPM issued a draft occupational flysheet. Ongoing conversations about moving forward with the skills needed for Records and Information management

27. Records Management Training Challenge: Train all designated “Agency Records Officers” in Federal agencies as well as inform all staff in agencies of their records management responsibilities 27 Agency Training by 2014 Solution: The “Training” Bulletin issued December 4, 2013. Agency Records Officers must receive the NARA Certificate of Federal Records Management Training

28. Communities of Interest 28 NARA establishes a Community of Interest Challenge: NARA will cooperate with Government-wide councils to establish a Community of Interest (COI) that brings together leaders from the information technology, legal counsel, and records management communities to solve specific records management challenges Solution: 1.The Federal Records Officer Network (FRON) 2.The Electronic Records Management Automation Working Group

29. Federal Records Officers Network 29

30. ERM Automated Working Group 30

31. 31 Challenge: Produce a comprehensive plan in collaboration with stakeholders to describe suitable approaches for the automated management of email, social media, and other types of digital record content, including advanced search techniques Automated Technologies NARA produces plan for automated management of electronic records

32. Automated Technologies Following the Sept 10, 2013 Industry Day, NARA put out Request for Information Over 50 vendor responses on ERM Automation Wiki Available to anyone with.gov or.mil email account on OMB MAX ERM Automation wiki – https://max.omb.gov/community/x/5QlfJw https://max.omb.gov/community/x/5QlfJw Use them! They’re there for you. 32

33. Automated Technologies 33

34. Automated Technologies The information gathered, the responses, the working group helped inform the report/plan Draft posted on Records Express March 10 th Comments requested by April 25 th Document consists of two parts Report: Outlines approaches to automation with outcomes and risks Plan: Proposes exploring a variety of steps to make those approaches more accessible and affordable for agencies 34 http://blogs.archives.gov/records-express/files/2014/03/Automated-Electronic- Records-Management-Report-and-Plan_3.6.14_finaldraft.pdf

35. Automated Technologies Report: Suitable approaches for automating ERM and their outcomes, benefits, and risks. NARA Stance on DOD 5015.2 Approaches to Automation – No Automation – Rule Based Automation – Business Process and Workflow Automation – Modular, Re-usable ERM Tools – Autocategorization 35

36. Automating Technologies 36 Plan: Acquiring Affordable Automated Solutions A. Approved electronic records automation vendors on a central procurement vehicle B. Electronic Records Management Line of Business, with one or several agencies offering their ERM services to other agencies C. Integrated workflow or rule-based electronic records management in other Lines of Business D. Modular records management components that can be used in many infrastructures

37. Contact Information Updates on our progress can be found on the Records Express blog at http://blogs.archives.gov /records-express/ General questions: PRMD@nara.gov Presenter: lisa.haralampus@nara.gov 37

38. Q & A Conversations 38